Basel Committee revising capital rules for securitization
The committee notes that the financial crisis highlighted several weaknesses in the current capital rules
- By: James Langton
- December 11, 2014 December 19, 2017
- 15:15
Latest news in From the Regulators
Tougher financial rules must allow for ‘natural’ market forces: Poloz
Bank of Canada governor called on regulators to allow for competitive market innovation
- By: Andy Blatchford
- December 11, 2014 December 19, 2017
- 14:40
IIROC proposes new fee model
New fees would recover the cost of IIROC’s new debt market oversight responsibilities
- By: James Langton
- December 11, 2014 December 19, 2017
- 12:10
CSA sets date for pre-sale delivery of Fund Facts
The requirement for pre-sale delivery of disclosure documents to mutual fund investors takes effect on May 30, 2016
- By: James Langton
- December 11, 2014 December 19, 2017
- 11:00
MFDA fines former advisor $50,000
PEI man fined for recommending leveraged scheme to clients without properly explaining risks
- By: Fiona Collie
- December 11, 2014 December 19, 2017
- 10:20
FINRA names electronic trading expert to board
Barclay’s Joe Mecane brings expertise in market structure issues
- By: James Langton
- December 10, 2014 December 19, 2017
- 17:00
Basel proposes standards for ‘net stable funding ratio
The framework aims to ensure the maintenance and stability of funding and liquidity profiles of banks' balance sheets
- By: James Langton
- December 9, 2014 December 19, 2017
- 14:00
Former advisor to face penalty hearing
IIROC panel finds former Calgary advisor made unsuitable recommendations, engaged in churning
- By: Fiona Collie
- December 9, 2014 December 19, 2017
- 11:40
SEC sanctions eight audit firms
Firms violated independence rules in their work for brokerage firms
- By: James Langton
- December 8, 2014 December 19, 2017
- 12:40
Canada top source of SEC whistleblowers: report
More than 1,000 whistleblowers from 82 countries have made confidential disclosures to U.S. regulators since 2011
- By: James Langton
- December 8, 2014 December 19, 2017
- 12:30
OSC offering new educational seminars
Three sessions designed to strengthen compliance practices
- By: James Langton
- December 5, 2014 December 19, 2017
- 16:00
CCMRS draft initial regulations delayed until spring
The rules will “substantially” maintain current harmonization, provinces say
- By: James Langton
- December 5, 2014 December 19, 2017
- 15:00
MFDA approves CRM2 amendments
The amendments aim to improve transparency about the costs of investing and the performance of client portfolios
- By: James Langton
- December 4, 2014 December 19, 2017
- 16:15
MFDA approves new directors
Appointees join existing public and industry directors
- By: IE Staff
- December 4, 2014 December 19, 2017
- 15:40
CSA introduces amendments to oil and gas disclosure
The revised requirements aim to promote improved disclosure of resources other than reserves
- By: James Langton
- December 4, 2014 December 19, 2017
- 12:05
Oversight review finds room for improvement at IIROC
CSA report flags IIROC’s enforcement and business conduct compliance departments
- By: James Langton
- December 4, 2014 December 19, 2017
- 11:50
IIROC updates Fee Model Guidelines
Single reference sets out dealer and marketplace fee models
- By: James Langton
- December 4, 2014 December 19, 2017
- 10:30
ASC bans 2 Wongs Make It Right
Panel finds Edmonton couple illegally distributed securities
- By: IE Staff
- December 2, 2014 December 19, 2017
- 15:15
Ontario approves measures to promote corporate gender diversity
New disclosure requirements aim to promote greater representation of women on boards and in senior management
- By: James Langton
- December 2, 2014 December 19, 2017
- 14:50
Part time CFOs permitted: IIROC
New guidance spells out SRO’s expectations
- By: James Langton
- December 1, 2014 December 19, 2017
- 16:20
Risk management critical for insurers: Rudin
OSFI head highlights key risks and challenges facing the industry
- By: Megan Harman
- December 1, 2014 December 19, 2017
- 14:30
W.H. Stuart principals to face MFDA hearing
Regulator alleges $6 million from clients used for other purposes
- By: James Langton
- November 28, 2014 December 19, 2017
- 15:30
OSC reciprocates ASC bans
Trading bans imposed on former advisor, promoters
- By: James Langton
- November 28, 2014 December 19, 2017
- 13:55
OSC bans former fund salesman
Paul Yoannou was previously convicted of 15 counts of fraud
- By: James Langton
- November 28, 2014 December 19, 2017
- 13:00
Australia looks to technology to improve disclosure
AMP, Vanguard to test digital financial product disclosures
- By: James Langton
- November 28, 2014 December 19, 2017
- 11:40